Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pruco Securities, Llc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Noele Pace | 7338199 | 1 | 03/20/2023 | Customer Dispute | Settled | $8,165.80 | $0.00 | See FINRA Report |
| Scott Allen Brent | 2928797 | 5 | 03/17/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jacob Yashar | 1066494 | 1 | 03/15/2023 | Customer Dispute | Denied | $5,459.76 | $0.00 | See FINRA Report |
| John Obrien | 6188853 | 1 | 03/02/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Joseph Kupres | 1882516 | 1 | 03/02/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Ann Pennine | 6887578 | 1 | 02/28/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mari Anne Nesse-Wyssbrod | 4519368 | 2 | 02/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lance Anthony Silva | 5084543 | 1 | 02/01/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David John Zauner | 2027403 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Nathaniel Tognarine | 7051385 | 1 | 01/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |